DEVELOPING,ENABLING,ANDSUPPORTINGDATAANDREPOSITORYCERTIFICATION

PlatoSmith,Ph.D.,DataManagementLibrarianDataONE MemberNodeSpecialTopicsDiscussionJune8,2017,2pm- 2:30pm

“Itwillbedifficulttoimproveyourinstitutionalinfrastructurewithoutanoverallunderstandingofthedatayoucurrentlyholdandhowresearchersatyourinstitutionaremanagingtheirdata.”– CARDIOv.2(CollaborativeAssessmentofResearchData),http://www.dcc.ac.uk/resources/tools/cardio

ASSESSING DATA AND REPOSITORY NEEDS

q DataSealofApproval(DSA)– datarepository(2008)

q DINStandardsCommitteeforInformationandDocumentation(NID)(1927)

q InternationalOrganizationforStandardization(ISO)(e.g.data,repository,services..)(1947)

q OpenGeospatialConsortium(OGC)– dataandinteroperability

q WorldDataSystem(WDS)– dataservices(2008)

CERTIFICATION BODIES/STANDARDS (EXAMPLES)

q Certification– “Theprovisionbyanindependentbodyofwrittenassurance(acertificate)thattheproduct,serviceorsysteminquestionmeetsspecificrequirements.”

q Accreditation– “Theformalrecognitionbyanindependentbody,generallyknownasanaccreditationbody,thatacertificationbodyoperatesaccordingtointernationalstandards.”– InternationalOrganizationforStandardization,https://www.iso.org/certification.html

DEFINITIONS

1. ResearchDataManagementSupportServices2. Criteria,Certification,&Standards3. Data4. Repository5. Tools6. UseCaseExamples7. Acknowledgements8. References

TABLE OF CONTENTS

RESEARCH DATA MANAGEMENT SUPPORT SERVICES*(JONES,PRYOR,&WHYTE,2013)

ResearchDataManagement

Activedatamanagementand

storage

Dataappraisal,selection,andtransfer

Dataarchivesandrepositories

Dataaccessportalsandpublication

BusinessPlanandSustainability

RDMPolicyandStrategy

Education,guidance,support,andtraining

1. Classification (UFDataClassificationGuidelines)I. RestrictedII. SensitiveIII. Open

2. Trustworthinessofthedatacenters/repositories*(RDA/WDS)I. AssessmentII. CertificationIII. Standards

3. Dataaccessibilityanddiscoverability*I. Description,documentation,representationII. Harvestable,interoperable,readableIII. Reproducible,reusable,sustainable

4. Levelofcuration*I. Providemetadataofresearchoutputs(discoverable)II. Enhanceresearchoutputswithdatacuration(citable)III. Manage/preserveresearchdataforlong-termarchiving

DATA (CLASSIFICATION,CERTIFICATION,CURATION)

1. Fundingagencies/SeniorStakeholdersI. Responsibleforfunding,guidelines,andpolicies.II. Responsibleforcapacity,infrastructure,andresources.

2. DataOwners(DataProducers)I. Responsibleforappropriatelyclassifyingdata.II. “Responsibleforthequalityofthedigitalresearchdata”

(DSA).3. DataCustodians(DataCurators)

I. Responsibleforlabelingdatawithappropriateclassificationsandapplyingrequiredandsuggestedsafeguards.

II. “Datarepositoryisresponsibleforthequalityofstorageandavailabilityofthedata:datamanagement”(DSA).

4. DataUsers(DataConsumers)I. Responsibleforcomplyingwithdatauserequirements.II. Responsibleforimmediatelyreferringrequestsfor

publicrecordstoappropriatedatagovernanceauthority.

DATA (STAKEHOLDERS RESPONSIBILITIES)

q Institutionalrepositoryq Publishingrepositoryq Datasetrepositoryq Trusteddatarepository

REPOSITORY

ResearchData

Management

Governanceand

Ownership

Conceptsand

Definitions

Guidelinesand

Security

IntegrityandQuality

ResearchDataManagementPolicyFramework*

1. DataSealofApproval(DSA)à TrustworthyDataRepositoryRequirements

2. WorldDataSystem(WDS)à DataandServices- Certification3. DSA-WDSPartnershipWorkingGroupà Catalogueof

CommonRequirements4. Criteriafortrustworthydigitalarchivesà DIN316445. TrustedDigitalRepository(TDR)àISO16363:2012Auditand

certificationoftrustworthydigitalrepositories6. TrustedRepositoriesAudit&Certification:Criteriaand

ChecklistàOAIS/ISO17421:2012Openarchivalinformationsystem(OAIS)– Referencemodel

CRITERIA,CERTIFICATION,&STANDARDS (EXAMPLES)

“The16DataSealofApprovalrequirements arebasedonthefollowingcriteria:• ThedatacanbefoundontheInternet• Thedataareaccessible(clearrightsandlicenses)• Thedataareinausableformat• Thedataarereliable• Thedataareidentifiedinauniqueandpersistentwaysothat

theycanbereferredto”– DataSealofApproval(2017)

Source:https://www.datasealofapproval.org/en/assessment/

CRITERIA,CERTIFICATION,&STANDARDS (CONT.)

q Keyprinciplesininternationalstandards development(InternationalOrganizationforStandardization(ISO)):Ø StandardsrespondtoaneedinthemarketØ StandardsarebasedonglobalexpertopinionØ Standardsaredevelopedthroughmulti-stakeholder

processØ Standardsarebasedonconsensus

Source#1:https://www.iso.org/developing-standards.html

q Communitystandards (OpenGeospatialConsortium(OGC)):Ø Servetobringdefactostandardsfromthelarger

geospatialcommunitytobeastablereferencepointØ Servetobringnew,butimplemented,standardstothe

OGCtoformthebasisforfurtherdevelopment

Source#2:http://www.opengeospatial.org/standards

CRITERIA,CERTIFICATION,&STANDARDS (CONT.)

CRITERIA,CERTIFICATION,&STANDARDS (CONT.)

DataSealofApproval

ISO16363:2012–

Auditandcertificationof

TDR

ISO14721:2012–

OAISReferenceModel

Data&Repository

DSA-WDSPartnership

WorkingGroupCatalogueof

CommonRequirements

OAIS

TRAC

Criteria

WorkingGroup(e.g.OGC,RDA)

GapAnalysis

DataAssetFramework

(DAF)

DataSealofApproval

Requirements

Assessment

1. CARDIOà CollaborativeAssessmentofResearchDataInfrastructureandObjectives

2. DAFàDataAssetFramework3. DRAMBORAà DigitalRepositoryAuditMethodBasedonRisk

AssessmentA. Benchmarks/MilestonesB. ProgramEvaluation/Self-AssessmentC. Reporting/SuccessMetrics

Source:http://www.dcc.ac.uk/resources/tools-and-applications

TOOLS (EXAMPLES)

USE CASE EXAMPLE (USGS)

https://www2.usgs.gov/fsp/acceptable_repositories_digital_assets.asp

Ø Whatfactorscontributedtotheneedfortrustedrepositories?Ø Canyoutellmethebenefitsoftrustedrepositories?Ø Whatisanacceptedtrustedrepository?Ø Whatcertificationsandstandardsdotrustedrepositories

employ?

USE CASE EXAMPLE (LPDAAC– NASAESDIS)

http://www.re3data.org/repository/r3d100010376

1. AmberE.Budden,PhD.,DirectorforCommunityEngagementandOutreach,DataONE,UniversityofNewMexico

2. JohnFaundeen,Archivist,U.S.GeologicalSurvey,EROSCenter3. LauraMoyers,DataONE MemberNodeCoordinator,Centerfor

Information&CommunicationStudies,UniversityofTennessee-Knoxville

4. DataONE UsersGroup

ACKNOWLEDGEMENTS

1. CCSDS.(2011).TheConsultativeCommitteeforSpaceDataSystems.AuditandCertificationofTrustworthyDigitalRepositories.RecommendedPractice.CCSDS652.0-M-1.MagentaBook.September2011.https://public.ccsds.org/pubs/652x0m1.pdf.

2. CCSDS.(2012).ReferenceModelforanOpenArchivalInformationSystem(OAIS).RecommendedPractice.CCSDS650.0-M-2.MagentaBook.June2012.https://public.ccsds.org/pubs/650x0m2.pdf.

3. CRL.(nd).DigitalPreservationMetrics.https://www.crl.edu/archiving-preservation/digital-archives/metrics.

4. ISO17421:2012.Spacedataandinformationtransfersystems-Openarchivalinformationsystem(OAIS)ReferenceModel.https://www.iso.org/standard/57284.html.

5. ISO16363:2012.Spacedataandinformationtransfersystems-Auditandcertificationoftrustworthydigitalrepositories.https://www.iso.org/standard/56510.html

6. TRAC.(2007).TrustworthyRepositoriesAudit&Certification:CriteriaandChecklist.https://www.crl.edu/sites/default/files/d6/attachments/pages/trac_0.pdf.

7. USGS.(2017).AcceptableDigitalRepositoriesforUSGSScientificPublicationsandData.https://www2.usgs.gov/fsp/acceptable_repositories_digital_assets.asp

REFERENCES

Contact information:

Plato Smith

plato.smith@ufl.edu

Thank you

Questions/Comments